unable to analyze and compare such information efficiently. Meanwhile securities brokers are concentrating more on portfolio advisory and offering more technology-driven services. Given this changing

auditor appointed by an audit firm is unable to perform audit work for a listed company and the audit firm has an insufficient number of auditors in the capital market to handle the situation, the listed

a trading order from the client's securities trading account without her client's order. {A} admitted doing such action, reasoning that she was unable to contact the client at the time the share

their audit work as a signing partner; and (4) allow capital market auditors who are unable to maintain their qualifications as a leader or a partner of an audit firm or an equivalent position to

unable to contact or identify PVD members. Therefore, in order to accommodate AMCs in making payment out of the fund to PVD members in accordance with the aforementioned law and in managing unclaimed

financial statements for Q1/2016 and Q2/2016 because the auditing scope was limited by the company’s executives. Consequently, the auditor was unable to find sufficient evidence to justify the management’s

specified on the website of the SEC Office. Clause 4 In case of a necessary ground causing the CIS operator to be unable to submit the sale report as prescribed under Clause 3 to the SEC Office within the

AI to rectify their 2014 financial statements as the auditors were unable to express opinions due to limitation on scope of audit imposed by the companies’ managements arising from lack of efficiency

arrangement after having obtained special resolution of the unitholders. (3) If the mutual fund management company is unable to obtain specialresolution of the unitholders for an  arrangement with a new

right is not less than 15 days. There are terms on compensation in the case where the company is unable to allocate shares to TSR holders exercising their right. The compensation must not be less than the